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IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 17, NO.

3, MARCH 1999 461

Channel Estimation for OFDM Systems with


Transmitter Diversity in Mobile Wireless Channels
Ye (Geoffrey) Li, Senior Member, IEEE, Nambirajan Seshadri, Senior Member, IEEE,
and Sirikiat Ariyavisitakul, Senior Member, IEEE

Abstract— Transmitter diversity is an effective technique to linear transform-based transmitter diversity are derived in [11].
improve wireless communication performance. In this paper, Transmitter diversity with elaborate selection of the signal
we investigate transmitter diversity using space-time coding for constellations has been proposed in [12]–[15]. Transmitter
orthogonal frequency division multiplexing (OFDM) systems in
high-speed wireless data applications. We develop channel pa- diversity combined with Reed–Solomon code has been pro-
rameter estimation approaches, which are crucial for the de- posed for clustered OFDM in [2]. More recently, space-time
coding of the space-time codes, and we derive the MSE bounds coding [16] has been developed for high data-rate wireless
of the estimators. The overall receiver performance using such communications. Space-time coding is characterized by high
a transmitter diversity scheme is demonstrated by extensive
code efficiency and good performance; hence, it is a promising
computer simulations. For an OFDM system with two transmitter
antennas and two receiver antennas with transmission efficiency technique to improve the efficiency and performance of OFDM
as high as 1.475 bits/s/Hz, the required signal-to-noise ratio is systems. In [17], space-time coding with OFDM has been
only about 7 dB for a 1% bit error rate and 9 dB for a 10% studied. However, decoding of space-time codes requires
word error rate assuming channels with two-ray, typical urban, channel state information, which is usually difficult to obtain,
and hilly terrain delay profiles, and a 40-Hz Doppler frequency.
In summary, with the proposed channel estimator, combining
especially for time-variant dispersive fading channels. The
OFDM with transmitter diversity using space-time coding is a work in [17] assumes ideal channel state information. This
promising technique for highly efficient data transmission over paper focuses on parameter estimation for transmitter diversity
mobile wireless channels. using space-time coding in OFDM systems.
Channel parameter estimation has been successfully used
I. INTRODUCTION to improve the performance of OFDM systems. For systems
without cochannel interference, with estimated channel param-
I N orthogonal frequency division multiplexing (OFDM)
[1]–[8], the entire channel is divided into many narrow
parallel subchannels, thereby increasing the symbol duration
eters [4], [5], [7], [18], coherent demodulation can be used
instead of differential demodulation and can achieve a 3–4
and reducing or eliminating the intersymbol interference (ISI) dB signal-to-noise ratio (SNR) gain. Moreover, for systems
caused by the multipath environments. On the other hand, with receiver diversity, maximal ratio diversity combining
since the dispersive property of wireless channels causes (MR-DC), which is equivalent to minimum mean-square error
frequency selective fading, there is higher error probability diversity combining (MMSE-DC) in the absence of cochannel
for those subchannels in deep fades. Hence, techniques such interference, can be achieved directly using the estimated
as error correction code and diversity have to be used to channel parameters. For systems with cochannel interference,
compensate for the frequency selectivity. In this paper, we the coefficients for the MMSE-DC must be calculated from
investigate transmitter diversity using space-time coding for estimated channel parameters and the instantaneous correlation
OFDM systems. of the signals from each receiver [19]. However, there is no
Transmitter diversity is an effective technique for combating literature on parameter estimation for OFDM systems with
fading in mobile wireless communications, especially when re- transmitter diversity.
ceiver diversity is expensive or impractical. Many researchers For OFDM systems with transmitter diversity using space-
have studied transmitter diversity for wireless systems. As time coding, two or more different signals are transmitted
indicated in [9] and the references therein, transmitter di- from different antennas simultaneously. The received signal
versity may be based on linear transforms. The performance is the superposition of these signals, usually with equal aver-
gain of linear transform-based diversity with ideal maximum- age power. If the channel parameters corresponding to each
likelihood sequence estimation (MLSE) and an arbitrary num- transmitter and receiver antenna pair are estimated by the
ber of transmitter antennas is investigated and compared with approach developed previously in [18], the signals from other
receiver diversity in [10]. Some asymptotic properties of transmitter antenna(s) will become interference. The signal-to-
interference ratio will always be less than 0 dB, and the MSE
Manuscript received February 1998; revised August 1998 and November
1998. of the estimation will be very large. Hence, novel parameter
Y. Li and S. Ariyavisitakul are with AT&T Labs-Research, Red Bank, NJ estimation approaches are desired for transmitter diversity
07701-7033 USA. using space–time coding.
N. Seshadri is with the Communications Research Department, AT&T
Laboratories, Florham Park, NJ 07932-1004 USA In this paper, we first derive an approach exploiting the
Publisher Item Identifier S 0733-8716(99)01964-2. delay profile characteristics of typical mobile wireless chan-
0733–8716/99$10.00  1999 IEEE
462 IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 17, NO. 3, MARCH 1999

the th receiver antenna, which is uncorrelated for different


’s, ’s, or ’s. Note that, for systems with transmitter
diversity, the average SNR ratio at the receiver is defined as

SNR (2)

that is, both and are re-


garded as the desired signals. denotes the ensemble
average.
The decoding of a space-time code [16] uses the Viterbi
decoding algorithm with the metrics
Fig. 1. OFDM system with transmitter diversity using space-time code. (3)

where denotes Euclidean norm, and are


nels. Based on this fundamental idea, we develop a sim-
the received signal vector and the estimated channel parameter
plified approach, which automatically estimates the channel
matrix, respectively, defined as
delay profile and reduces the computation complexity using
this information. As demonstrated by computer simulations,
with estimated channel parameters for decoding of space-time
codes, the OFDM system with two transmitter and two receiver
antennas can transmit data at an efficiency of 1.475 bits/s/Hz
while the required SNR is 7 dB for a 1% bit error rate (BER)
and 9 dB for a 10% word error rate (WER). and is the estimated signal vector, defined as
The rest of this paper is organized as follows. Section II
describes transmitter diversity using space-time coding for
OFDM systems and briefly introduces the statistics of mobile
wireless channels. Section III derives a basic and simplified Hence, accurate estimation of channel parameters is the
approach to parameter estimation for OFDM systems with key to the decoding of the space-time codes. In Section III,
transmitter diversity. Section IV analyzes the performance we describe parameter estimation approaches, which exploit
bounds of the proposed estimation approaches and discusses the delay profile characteristics of mobile wireless channels.
the training block design and identifiability conditions. Finally, In the following, we provide useful representations of these
Section V presents computer simulation results to demonstrate characteristics.
the effectiveness of transmitter diversity for OFDM systems
in various mobile wireless environments. B. Characteristics of Mobile Wireless Channels
The complex baseband representation of the mobile wireless
II. TRANSMITTER DIVERSITY FOR OFDM
channel impulse response can be described by [20]
SYSTEMS IN MOBILE WIRELESS CHANNELS
(4)
A. Transmitter Diversity Using Space-Time Coding
An OFDM system with two-branch transmitter diversity where is the delay of the th path, is the corre-
using a space-time code is shown in Fig. 1. At a transmission sponding complex amplitude, and is the shaping pulse, the
time , a binary data block is frequency response of which is usually a square-root raised-
coded into two different signals, , for cosine Nyquist filter. Hence, the frequency response at time
. Each of these signals forms an OFDM block. The two is
transmitter antennas simultaneously transmit OFDM signals
modulated by for . Hence, discrete Fourier
transform (DFT) of the received signal at each receiver antenna
is the superposition of two distorted transmitted signals, which (5)
can be expressed as
with
(1)

where is the channel frequency response for the


th tone at time , corresponding to the th transmitter Due to the motion of the vehicle, ’s are modeled to be
antenna and the th receiver antenna, whose characteristics wide-sense stationary (WSS), narrowband complex Gaussian
will be discussed in Section II-B; denotes the additive processes, which are independent for different paths. Fur-
complex Gaussian noise, with zero mean and variance , on thermore, ’s for all have the same normalized time
LI et al.: CHANNEL ESTIMATION FOR OFDM SYSTEMS 463

correlation function and different average powers . It has


been demonstrated in [18] that the correlation function of
can be separated into the multiplication of a time-
domain correlation and a frequency-domain correlation, which
makes it possible to exploit the correlation in both domains
separately.
For OFDM systems with proper cyclic extension and sample
timing, it has been shown in [4] and [18] that, with tolerable
leakage, the channel frequency response can be expressed as

(6)

where , ,
is the number of tones of an OFDM block, and are (a)
the block length and tone spacing of the OFDM system,
respectively, and is the sample interval of the system
that relates to by . In (6), ’s, for
, are WSS, narrowband complex Gaussian
processes. The average power of and index ( )
depend on the delay profiles and dispersion of the wireless
channels.
The two-ray [21], typical urban (TU), and hilly terrain (HT)
[20], [22] models are three commonly used delay profiles. The
average power and delay of each ray for TU and HT delay
profiles are shown in Fig. 2(a) and (b), respectively. When
comparing the performance of OFDM systems under different
delay profiles, we assume the same delay spread, defined as

(b)
Fig. 2. (a) The TU delay profile (d = 1:06 s) and (b) the HT profile
(d = 5:04 s).

For the two-ray profile with equal average power on each


ray, the delay spread is ( ), i.e., a half of
the delay difference between the two rays. The delay spreads expressed as1
for TU and HT delay profiles in Fig. 2 are 1.06 and 5.04 s,
respectively.
(7)

III. CHANNEL PARAMETER ESTIMATION


Hence, to obtain , we only need to estimate .
As indicated in Section II, to decode a space-time code From Section II, the received signal at each antenna can be
used for transmitter diversity in OFDM systems, the channel expressed as
parameters must be provided. The difficulty of parameter
estimation here is that, for each receiver antenna, every tone
is associated with multiple channel parameters. Fortunately, (8)
channel parameters for the different tones of each channel
are correlated. With this correlation, we are able to develop
parameter estimation approaches. for and all . If the transmitted signals
’s, for , are known through the use of a training
A. Basic Approach block, the temporal estimation of can be found by
Following (6), the frequency response at the th tone of the 1 The index j for different receiver antennas is omitted from Hij [n; k],
th block corresponding to the th transmitter antenna can be rj [n; k], and wj [n; k].
464 IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 17, NO. 3, MARCH 1999

minimizing the following MSE cost function: Then, (11) is equivalent to

(14)

(9) for and .


Equation (14) can be written in matrix form as shown at
the bottom of the page in (15) for . Hence,
Hence, can be determined by can be estimated by

(16)

With the temporal estimation of the channel parameters, a


more accurate estimation can be obtained by exploiting the
time correlation (i.e., the correlation between different blocks)
of the channel parameters. Hence, using the results in [18], a
robust channel estimator for OFDM systems with transmitter
(10) diversity can be constructed, as shown in Fig. 3. We have
discussed a procedure for computing coefficients of the filter
for robust estimator in [18], which is ideal -band-
where and denote the real and imaginary part of
limited, where is the maximum Doppler frequency of the
a complex number, respectively. Direct calculation yields that
channel.
(10) is equivalent to
In the above derivation, we have assumed that the transmit-
ted signals for each antenna are known. When the system is
in data transmission mode, decoded data are used to generate
the reference signals.

(11)
B. Simplified Approach
To get the temporal estimation of the channel parameters
for and , where denotes the
using the basic approach developed in Section III-A, has
complex conjugate of the complex number .
to be calculated. For a system with a 160- s symbol duration
Define
and 128 tones, is 17 if the channel delay span is 20 s.
is a 34 34 matrix. Thus, calculating requires intensive
computations. Using the characteristics of the channel delay
(12) profiles, the estimation approach can be greatly simplified.
Most mobile wireless channels are characterized by discrete
multipath arrivals, i.e., the magnitude of ’s for most
and ’s are zero or very small; hence, these channel taps can
be ignored. Using this characteristic, we are able to reduce
the computation complexity and improve the performance of
(13) the parameter estimation by identifying significant taps during
training blocks.

where
and
with

and

.. .. .. .. (15)
. . . .
LI et al.: CHANNEL ESTIMATION FOR OFDM SYSTEMS 465

Fig. 3. Channel parameter estimator for transmitter diversity of OFDM systems.

For packet data transmission in wireless systems, the first As before, the time correlation of can be used
OFDM block of a packet is the training block that is used to further improve its estimation. Let be the time-
for initial channel parameter estimation and for time and averaged estimation; then the channel frequency response is
frequency synchronizations. Since the transmitted data for determined by
the training block is known, in (16) can be calculated
in advance and initial parameter estimation only requires
multiplying by . (17)
Let ’s for and be
the estimated parameters from the training block. Then, we
can identify the significant taps by finding the ’s with large It should be indicated that the simplified approach is with
. Assuming ’s for and zero error only if the nonsignificant taps are actually ze-
( ) to be the ros. Consequently, the choice of depends on both the
significant taps, then we only need to estimate computational complexity and the required performance of
corresponding to these taps and ignore the rest as shown in the simplified estimator. For systems with large SNR, the
estimation error of is small and the estimation error
(16a) at the bottom of the page.
of comes mainly from the leakage; hence, should
Similar to the derivation of Section III-A, the significant
be larger to reduce the leakage. However, for systems with
channel taps for each channel corresponding to the same
small SNR, the relative estimation error for those taps with
receiver antenna and different transmitter antennas can be
small amplitude, is very large; hence, should be smaller.
estimated by

IV. PERFORMANCE ANALYSIS


We have developed a basic and simplified approach in
Here, is a matrix. As demonstrated by Section III. In this section, we analyze the performance and
simulation, is enough for all three delay profiles derive the MSE bounds. We also briefly discuss channel
introduced in Section II-B. identifiability and training signal design.

Let

.. .. .. ..
. . . .

and
(16a)
466 IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 17, NO. 3, MARCH 1999

A. MSE Bound of Estimator Similarly


From (8) and (12), we have

where

for . Therefore,

(21)

where

with

(18)
Hence, from (16)
By means of the convolution theorem [23]
(22)

From (22), the (temporal) estimation of is the sum-


mation of the true value plus a term affected by channel
noise.
and
From (22)

(23)

which implies that (16) is an unbiased estimation of .


The MSE of the temporal estimator is

Let MSE

(19)

for . Then, for all Tr

Tr (24)

where denotes the Hermitian of a matrix or vector and Tr


denotes the trace of a square matrix.
If ’s, for , all and , are constant modulus,
then

thus
(20)

Hence
where is a identity matrix. Since ,
the result is shown in (24a) at the bottom of the page.

(24a)
LI et al.: CHANNEL ESTIMATION FOR OFDM SYSTEMS 467

Hence, the average estimation error 3) Enhanced Parameter Estimation: As indicated in [19],
the second-pass channel estimation can also be used here
MSE Tr to improve the performance of the channel estimator. In
that case, the lower bound of the MSE is reduced to

MSE (31)

Tr VI. PERFORMANCE EVALUTAION BY COMPUTER SIMULATION


Extensive computer simulations have been conducted to
demonstrate the performance of transmitter diversity using
(25)
space-time coding. Before presenting the simulation results,
we first describe the parameters of the simulated OFDM
Let ’s, for , be the eigenvalues of systems.
. Then, the MSE can also be expressed as
A. Parameters of OFDM with Transmitter Diversity
MSE (26) In our simulation, channels with two-ray, TU, and HT delay
profiles and a Doppler frequency of 40 and 200 Hz are used
From the above expression, the MSE of the temporal estima- to represent different mobile environments. Two transmitter
tion depends on the transmitted sequence, and furthermore antennas and two receiver antennas are used for diversity. The
links between different transmitter or receiver antennas are
MSE (27) independent; however, they have the same global statistics.
The parameters of the simulated OFDM system are similar
with equality if and only if for , or to those in [3], [18], and [19]. The entire channel band-
equivalently, for , or width, 800 kHz, is divided into 128 subchannels. The four
for all . subchannels on each end are used as guard tones, and the
From [18], the lower bound of the MSE of the estimated rest (120 tones) are used to transmit data. To make the tones
is orthogonal to each other, the symbol duration is 160 s. An
additional 40 s guard interval is used to provide protection
MSE (28) from intersymbol interference due to channel multipath delay
spread. This results in a total block length 200 s and
a subchannel symbol rate 5 kBd.
where is the Doppler frequency of the channel. A 16-state space-time code with four PSK is used in the
system. Each data block, containing 236 bits, is coded into
V. REMARKS two different blocks, each of which has exactly 120 symbols
1) Identification Condition: From (16), the necessary and to form an OFDM block. Consequently, it is in fact a space-
sufficient condition for the channel parameters to be frequency code. The channel parameter estimation approaches
identifiable is that is invertible. From (25), this developed in this paper are used to provide estimated param-
condition is equivalent to that eters for decoding.
being invertible. A sufficient identification condition is The described system can transmit data at a rate of 1.18
that Mbits/s over an 800 kHz channel, i.e., the transmission effi-
ciency is 1.475 bits/s/Hz.
Tr

or B. Simulation Results
The performance of the systems is measured by WER, BER,
(29) and the estimator’s MSE, each averaged over 10 000 OFDM
blocks. Fig. 4 shows the WER, BER, and the estimator’s MSE
of the OFDM system with transmitter diversity for the TU and
2) Training Signal Design: From (27), in order for the two-ray delay profile channels with 40-Hz Doppler frequency
channel estimator to achieve its best performance, the ( ) and the same delay spread 1.06 s. When ideal
training signals from the two transmitter antennas should channel parameters of the previous OFDM block are used
satisfy for decoding of the current OFDM block, the OFDM system
(30) for both delay profiles has almost the same performance, and
the required SNR is 8 and 11 dB for 10 and 1% WER,
for , which can be respectively, and 6 and 8 dB for 1 and 0.1% BER, respectively.
easily constructed, for example, by letting If a nine-tap significant-tap-catching (STC) estimator is used
. to estimate the channel parameters, then there is about a
468 IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 17, NO. 3, MARCH 1999

(a) (a)

(b) (b)
Fig. 5. (a) WER and (b) BER of OFDM systems with transmitter diversity
for channels with the two-ray and the TU delay profiles, respectively, and
fd = 200 Hz when different number of taps for the estimators is used.

tap STC estimator. Since the estimator has more leakage for
the TU delay profile, the system has a larger performance
degradation than for the two-ray delay profile. Fig. 5 shows
similar performance for hz. Again, the receiver
performance is generally better for the two-ray delay profile
than for the TU delay profile.
Fig. 6 compares the performance between channels with the
two-ray and the HT delay profiles with 40 Hz and
5.04 s. Similar to the above results, for channels with
40 Hz, the system has the same performance when the ideal
parameters of the previous OFDM block are used for decoding.
(c) However, when estimated parameters are used, the system has
better performance for the two-ray delay profile than for the
Fig. 4. (a) WER, (b) BER, and (c) MSE of OFDM systems with transmitter
diversity for channels with the two-ray and the TU delay profiles, respectively, HT profile, since the estimator has lower MSE for the two-
and fd = 40 Hz when a different number of taps for the estimators is used. ray delay profile. When a seven or nine-tap STC estimator is
used, the required SNR is 8 dB for a 10% WER, 6 dB for a
1-dB degradation in the required SNR’s. However, larger 1% BER (for the two-ray delay profile), and about 8.6 dB for
performance degradation can be seen for a seven or five- a 10% WER and 6.6 dB for a 1% BER, respectively.
LI et al.: CHANNEL ESTIMATION FOR OFDM SYSTEMS 469

(a) (a)

(b)
(b)
Fig. 7. WER’s of original and enhanced estimators (seven-tap STC) for
channels with (a) the two-ray and the TU delay profiles and (b) the two-ray
and the HT delay profiles and with different Doppler frequencies.

the performance improvement of the enhanced estimator for


channels with 40 and 200 Hz, respectively. From the
figure, for channels with a lower Doppler frequency (
40 Hz), the enhanced estimator does not improve the system
performance; but for channels with a higher Doppler frequency
( 200 Hz), the enhanced estimator improves the required
SNR for a 10% WER by over 1 dB.

VII. DISCUSSIONS
In Section VI, we have shown the performance improve-
ment of an OFDM system with transmitter diversity using
(c) a 16-state space-time code. A higher state, such as 64-state,
space-time code can be used to further improve the system
Fig. 6. (a) WER, (b) BER, and (c) MSE of OFDM systems with transmitter
diversity for channels with the two-ray and the HT delay profiles, respectively, performance; however, the decoding complexity will increase.
and fd = 40 Hz when different number of taps for the estimators is used. It has been shown in [18] that an OFDM system with one
transmitter antenna and two receiver antennas transmitting data
As indicated in Section IV-B, enhanced channel estimation at an efficiency of 0.75 bit/s/Hz requires about 6.5-dB SNR for
can improve the OFDM system performance. Fig. 7 shows a 10% WER. For the simulated system simulated in Section VI
470 IEEE JOURNAL ON SELECTED AREAS IN COMMUNICATIONS, VOL. 17, NO. 3, MARCH 1999

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ACKNOWLEDGMENT Englewood Cliffs, NJ: Prentice-Hall, 1989.
The authors wish to thank V. Tarokh for providing the
space-time coding program. The authors would also like
to thank L. J. Cimini, N. R. Sollenberger, W. Turin, and
the anonymous reviewers for their insightful comments that
significantly improved the quality of the paper.

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division multiplexing using the discrete Fourier transform,” IEEE Trans. AREAS IN COMMUNICATIONS and as an Editor for wireless communication
Commun. Technol., vol. 19, pp. 628–634, Oct. 1971. theory for the IEEE TRANSACTIONS ON COMMUNICATIONS.
LI et al.: CHANNEL ESTIMATION FOR OFDM SYSTEMS 471

Nambirajan Seshadri (S’81–M’82–SM’95) re- Sirikiat Ariyavisitakul (S’85–M’88–SM’93) received the B.S., M.S., and
ceived the Bachelor’s degree in electronics and Ph.D. degrees in electrical engineering from Kyoto University, Kyoto, Japan,
communications engineering from the University in 1983, 1985, and 1988, respectively.
of Madras, India, in 1982 and the M.S. and Ph.D. From 1988 to 1994, he was a Member of the Technical Staff at Bellcore,
degrees in electrical and computer engineering from Red Bank, NJ, conducting research on wireless communications systems and
Rensselaer Polytechnic Institute, Troy, NY, in 1984 experimental prototyping of low-power radio links for personal communi-
and 1986, respectively. cations. He joined AT&T Bell Laboratories in 1994 and continued to work
He is Head of the Communications Research in the area of wireless communications. He currently works in the Wireless
Department at AT&T Laboratories, Florham Park, Communications Research Department of AT&T Laboratories, Red Bank, NJ.
NJ. Prior to this, he was a Distinguished Member of The topics of his research have included modulation techniques, equalization,
Technical Staff at AT&T Bell Laboratories, Murray linear power amplifiers, cellular CDMA and power control techniques, coding
Hill, NJ. His research activities in the department cover a broad range of and frequency hopping, and wireless system architectures and infrastructures.
signal processing and communications concepts, including signal analysis for He holds ten U.S. patents.
compression and transmission, error resilient signal compression techniques, Dr. Ariyavisitakul received the 1988 Niwa Memorial Award in Tokyo,
new transmission techniques for wireless such as space-time coding, radio Japan, for outstanding research and publication. He is a member of the Institute
link adaptation algorithms and protocol design, and design of a flexible of Electronics, Information and Communication Engineers of Japan. He serves
wireless simulator. He has authored more than 60 conference and journal as the Editor for wireless techniques and fading for IEEE TRANSACTIONS ON
papers and holds 20 patents. COMMUNICATIONS.
Dr. Seshadri was the Associate Editor of coding techniques for IEEE
TRANSACTIONS ON INFORMATION THEORY from 1996 to 1998.

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